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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

KELLY MULLIN ROARK

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Asheville, NC | Candler, NC

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Search this name across graphsid dfx:ria:fd54a30f-9af2-0ae2-c2c4-362bcc12536a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Aug 3, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 14, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Dec 14, 1999
First registration: Aug 3, 2005
Dual registered: yes, broker-dealer
Other names: KELLY PATRICIA MULLIN|KELLY PATRICIA MULLIN
IAPD individual key: 3228448

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Oct 22, 2025	n/a	yes	Candler, NC\|Asheville, NC	Current employment
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Aug 23, 2023	Oct 22, 2025	no	Asheville, NC\|WALTHAM, MA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 3, 2009	Aug 28, 2023	no	ASHEVILLE, NC\|ASHEVILLE, NC\|CANDLER, NC	Previous registration
HARBOR LIGHT SECURITIES, LLC	n/a	May 15, 2007	May 20, 2009	no	ASHEVILLE, NC\|TAMPA, FL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 2, 2006	May 15, 2007	no	ASHEVILLE, NC	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Aug 3, 2005	Aug 23, 2006	no	ASHEVILLE, NC\|ASHEVILLE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
COMMONWEALTH FINANCIAL NETWORK	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Oct 22, 2025	Oct 22, 2025	0	Firm change	Ibd to ibd
LPL FINANCIAL LLC	COMMONWEALTH FINANCIAL NETWORK	Aug 28, 2023	Aug 23, 2023	-5	Firm change	Ibd to ibd
HARBOR LIGHT SECURITIES, LLC	LPL FINANCIAL LLC	May 20, 2009	Apr 3, 2009	-47	Firm change after gap	Other
LPL FINANCIAL LLC	HARBOR LIGHT SECURITIES, LLC	May 15, 2007	May 15, 2007	0	Firm change	Other
A. G. EDWARDS & SONS, INC.	LPL FINANCIAL LLC	Aug 23, 2006	Oct 2, 2006	40	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:8032:NC:2023-08-28	Aug 28, 2023	Aug 23, 2023	CANDLER, NC	Firm change

Relationships

Registered with (5)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Oct 22, 2025 to presentfactForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Aug 23, 2023 to Oct 22, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 3, 2009 to Aug 28, 2023factForm ADV
→ HARBOR LIGHT SECURITIES, LLCRegistered adviserregistration: previous registration
May 15, 2007 to May 20, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Aug 3, 2005 to Aug 23, 2006factForm ADV

Dated events

Occurred
Oct 22, 2025
Advisor changed firm
Kelly Mullin Roark left Commonwealth Financial Network for Cambridge Investment Research Advisors, Inc. (registered 2025-10-22)
Form ADVobserved 6 days ago
Occurred
Aug 28, 2023
Advisor changed firm
Kelly Mullin Roark left Lpl Financial Llc for Commonwealth Financial Network (registered 2023-08-23)
Form ADVobserved 6 days ago